REGULATORY COMPLIANCE CONSULTING FOR INVESTMENT ADVISERS

Providing High-touch Compliance and Legal Support For Asset Managers, Financial Planners and Private Funds

OUR FIRM

High Tide Compliance Management, LLC provides ongoing legal and compliance support to all forms of investment advisers including individuals seeking to go independent, existing asset managers, and private fund managers. Our firm has extensive experience providing counsel to investment advisers registered in all fifty states and the SEC. High Tide rejects the cookie-cutter or prepackaged “box” of compliance services. Instead, we take on an in depth hands-on approach to tailor our services to each RIA’s individual needs. We provide ongoing legal and compliance support services for both state and SEC-registered firms in a number of areas, including:

Initial and Ongoing Registration
Compliance Program Development
RIA Compliance Training
Compliance Calendars
Annual Compliance Reviews
Advertising Reviews
ADV Part 1, 2, and Form CRS Amendments
U4 Filings and Representative Onboarding
Form PF Filing
Edgar Filings Including Form 13F, 13H and Form D
IARD Management

Compliance Certifications / Attestations
Regulatory Responses & Examination Support
Mock Exams and Exam Management
Advertising Compliance Reviews
Ongoing Consulting for Questions and Issues
Email Review Services
Expert Network Meeting Surveillance
Code of Ethics Monitoring
Legal Agreement Reviews
Entity Formation and Filings
Outsourced CCO Services

About

SERVICES

Guiding You to Success By Mitigating Risk and Driving Operational Efficiency

REGISTRATION

Assistance in Formation and Registration of Registered Investment Advisers (RIAs)

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ONGOING SERVICES

Individually Tailored Compliance Plan Support and Management

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LEGAL SERVICES

Contract Drafting, Review, and Negotiation Assistance

Services

Registration Services

We provide individuals and teams of advisors with assistance in achieving independence by breaking away from their current employers and launching fully registered investment advisory firms. Registration includes the formation of a new RIA, client contracts, compliance manual, ancillary compliance plan documents and a training consultation.

Compliance Plan Management

We provide monthly ongoing compliance support to registered investment adviser ("RIA") firms. Our RIA compliance program is tailored for each firm's unique needs. All compliance monthly packages include unlimited ADV, U4, compliance manual, and consulting support.

Mock Audits

An Annual Compliance Review is a requirement for all SEC registered firms. Our comprehensive mock audit process will help you fulfill that annual requirement, while identifying and correcting potential deficiencies with the firm BEFORE they grow into larger problems.

Examination Support

We take a hands-on approach to respond to regulatory requests and examinations and lead firms in their response to the SEC, FINRA, or state regulator's inquiries.

Code of Ethics Management

We maintain records related to RIA's Code of Ethics including review and confirmation of political contributions, personal trading, gifts and entertainment, email surveillance, and expert network call surveillance. We assist private funds in identifying MNPI and avoiding insider trading accusations.

RIA Compliance Training

We offer both focused training and firm-wide compliance training to give your personnel the knowledge and resources they need to operate effectively while mitigating risk.

NDA/Contract Review

We provide end-to-end negotiation, processing, and tracking of contracts and NDAs.

Outsourced CCO Services

Our Outsourced CCO packaged services provide an alternative to hiring a full-time CCO. As your named Chief Compliance Officer, we will take on the full responsibility of performing all required duties of the role.

Practice Management Consulting

With deep experience across a broad range of issues facing RIAs, we help manage risk in complex situations that require confidentiality, industry expertise and regulatory insight. In these sometimes tense situations, an independent assessment and opinion can be the difference between a successful decision and one that endangers your brand.

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